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Securities Commission Meeting

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General Information

Government Type
State Agency
Department of Commerce
Public Body
Securities Commission

Notice Information

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Notice Title
Securities Commission Meeting
Notice Subject(s)
Notice Type(s)
Event Start Date & Time
March 21, 2019 09:00 AM
Event End Date & Time
March 21, 2019 12:00 PM
Event Deadline Date & Time
03/18/19 01:00 AM
Utah Securities Commission March 21, 2019 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Tab 1: Approval of the January 24, 2019 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley Tab 2: Education and Training Fund Report: Bryan Cowley Tab 3: Grant Request: Diversify Consideration and Approval of Proposed Orders: Tab 4: Dallas Tall, SD-17-0015: Order on Motion for Summary Judgment (Paula) Tab 5: Lee Charles Rasmussen, SD-19-0003: Stipulation and Consent Order (Sean) Hearing Kenny Andam, SD-16-0034: evidentiary fine Cetera, SD-18-0014: Stipulation and Consent Order (Eric/Tom M) Paul Neuenswander, SD-18-0015: Stipulation and Consent Order (Eric/Tom M)
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Meeting Information

Meeting Location
160 E Broadway RM 451
Salt Lake City, 84111
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Contact Name
Ashlee Buchholz
Contact Email
Contact Phone

Notice Posting Details

Notice Posted On
January 04, 2019 08:49 AM
Notice Last Edited On
March 20, 2019 11:49 AM
Deadline Date
March 18, 2019 01:00 AM

Download Attachments

File Name Category Date Added
3-21-2019 Commission Meeting 150103_0003.MP3 Audio Recording 2019/03/22 09:36 AM
3-21-2019 Commission Meeting 150103_0006.MP3 Audio Recording 2019/03/22 09:36 AM
3-21-2019 Commission Meeting 150103_0004.MP3 Meeting Minutes 2019/03/22 09:36 AM
Approved 1-24-19 Minutes.pdf Meeting Minutes 2019/03/22 09:37 AM
Proposed Meeting Minutes.pdf Meeting Minutes 2019/03/22 03:20 PM
Combined Signed Orders.pdf Other 2019/03/22 09:35 AM
Kenneth Ekow Andam SD-16-0034.pdf Other 2019/05/28 10:11 AM


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